We encourage the public to submit comments on the following FINRA filings during the comment period. For detailed instructions, please read
How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.

Notice of Filing of Proposed Rule Change to Delay Implementation of Certain FINRA Rule Changes Approved in SR-NASD-2004-183Comments due: January 24, 2008
See also:Order: Rel. No. 34-57228Comments received
are available
for this notice.

Notice of Filing of Proposed Rule Change to Create Exception to Principal Approval Requirements for Certain Filed Sales MaterialComments due: January 18, 2008
See also:Order: Rel. No. 34-57257Comments received
are available
for this notice.

Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay Implementation of Certain Rule Changes Approved in SR-NASD-2005-146Comments due: December 19, 2007
Comments received
are available
for this notice.

Order Approving Proposed Rule Change to Amend the Definition of Office of Supervisory Jurisdiction in NASD Rule 3010(g)(1) to Exempt Locations that Solely Conduct Final Approval of Research ReportsSee also:Notice: Rel. No. 34-56585

Order Granting Approval of a Proposed Rule Change Relating to NASD Rule 11870 (Customer Account Transfer Contracts) and NYSE Rule 412 (Customer Account Transfer Contracts) to Make the Time Frames in the Rules for Validating or Taking Exception to an Instruction to Transfer a Customer's Securities Account Consistent with the Time Frames in the Automated Customer Account Transfer ServiceSee also:Notice: Rel. No. 34-56373

Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Limit the Use of FINRA's Name and Any Other Name Owned by FINRA and to Require Members and Persons Associated with a Member that Refer to their FINRA Membership on a Web site to Provide a Hyperlink to www.finra.orgComments due: November 2, 2007

Notice of Filing of Proposed Rule Change Relating to Amending the Definition of Office of Supervisory Jurisdiction in NASD Rule 3010(g)(1) to Exempt Locations that Solely Conduct Final Approval of Research ReportsComments due: October 26, 2007
See also:Order: Rel. No. 34-56742Comments received
are available
for this notice.

Notice of Filing of Proposed Rule Change to Amend an Exemption to NASD Rule 1050 and NYSE Rule Interpretation 344/02 for Certain Research Analysts Employed by a Member's Foreign Affiliate Who Contribute to the Preparation of a Member's Research ReportComments due: October 17, 2007
See also:Notice/Order: Rel. No. 34-57278Comments received
are available
for this notice.

Notice of Filing of Proposed Rule Change to Amend NASD Rule 2711 and NYSE Rule 472 Regarding a Member's Disclosure and Supervisory Review Obligations when Distributing Third-Party ResearchComments due: October 17, 2007
See also:Notice/Order: Rel. No. 34-57279Comments received
are available
for this notice.

Notice of Filing of Proposed Rule Change Relating to Exemption from Reporting for TRACE-Eligible Securities Transactions Resulting from Exercise or Settlement of Options, Termination or Settlement of Credit Default Swaps, Other Types of Swaps, or Similar InstrumentsComments due: October 12, 2007
See also:Order: Rel. No. 34-56709

Notice of Filing of a Proposed Rule Change Relating to NASD Rule 11870 (Customer Account Transfer Contracts) and NYSE Rule 412 (Customer Account Transfer Contracts) to Make the Time Frames in the Rules for Validating or Taking Exception to an Instruction to Transfer a Customer’s Securities Account Consistent with the Time Frames in the Automated Customer Account Transfer ServiceComments due: October 4, 2007
See also:Order: Rel. No. 34-56677Comments received
are available
for this notice.

Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Codes of Arbitration Procedure to Remove the Page Limit on Statements of Claim Filed Through the Online Arbitration Claim Filing SystemComments due: February 25, 2008

Notice of Filing of a Proposed Rule Change to Amend NASD Rule 7001B to Adjust the Percentage of Market Data Revenue Shared with NASD/Nasdaq TRF ParticipantsComments due: February 14, 2008
Comments received
are available
for this notice.

Notice of Filing of Proposed Rule Change to Delay Implementation of Certain FINRA Rule Changes Approved in SR-NASD-2004-183Comments due: January 24, 2008
Comments received
are available
for this notice.

Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto to Establish an Exemption for Certain Regulation NMS-Compliant Intermarket Sweep Orders from the Requirements in IM-2110-2 (Trading Ahead of Customer Limit Order) and Rule 2111 (Trading Ahead of Customer Market Orders)Comments due: March 20, 2008
Comments received
are available
for this notice.

Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Relating to Options Supervision RequirementsComments due: May 30, 2008
Comments received
are available
for this notice.

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Dissemination of Trade Reports for OTC Equity Securities Transactions of Fewer Than 100 SharesComments due: February 12, 2008

Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay Implementation of Certain Rule Changes Approved in SR-NASD-2005-146Comments due: December 19, 2007
Comments received
are available
for this notice.

Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Amendments to the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to Address Motions to Dismiss and to Amend the Eligibility Rule Related to Dismissals

Notice of Filing of Proposed Rule Change and Amendment No. 1 Relating to Amendments to the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to Address Motions to Dismiss and to Amend the Eligibility Rule Related to DismissalsComments due: April 10, 2008
Comments received
are available
for this notice.

Notice of Filing of Proposed Rule Change to Create Exception to Principal Approval Requirements for Certain Filed Sales MaterialComments due: January 18, 2008
Comments received
are available
for this notice.

Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Limit the Use of FINRA's Name and Any Other Name Owned by FINRA and to Require Members and Persons Associated with a Member that Refer to their FINRA Membership on a Web site to Provide a Hyperlink to www.finra.orgComments due: November 2, 2007

Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 to Amend NASD Rule 2711 (Research Analysts and Research Reports) and NYSE Rule 472 (Communications With The Public) Regarding a Member’s Disclosure and Supervisory Review Obligations When it Distributes or Makes Available Third-Party Research ReportsComments due: March 4, 2008

Notice of Filing of Proposed Rule Change to Amend NASD Rule 2711 and NYSE Rule 472 Regarding a Member's Disclosure and Supervisory Review Obligations when Distributing Third-Party ResearchComments due: October 17, 2007
Comments received
are available
for this notice.

Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 to Amend an Exemption to NASD Rule 1050 and NYSE Rule Interpretation 344/02 for Certain Research Analysts Employed By a Member’s Foreign Affiliate Who Contribute to the Preparation of a Member’s Research Report.Comments due: March 4, 2008

Notice of Filing of Proposed Rule Change to Amend an Exemption to NASD Rule 1050 and NYSE Rule Interpretation 344/02 for Certain Research Analysts Employed by a Member's Foreign Affiliate Who Contribute to the Preparation of a Member's Research ReportComments due: October 17, 2007
Comments received
are available
for this notice.

Notice of Filing of Proposed Rule Change Relating to Amending the Definition of Office of Supervisory Jurisdiction in NASD Rule 3010(g)(1) to Exempt Locations that Solely Conduct Final Approval of Research ReportsComments due: October 26, 2007
Comments received
are available
for this notice.

Notice of Filing of Proposed Rule Change Relating to Exemption from Reporting for TRACE-Eligible Securities Transactions Resulting from Exercise or Settlement of Options, Termination or Settlement of Credit Default Swaps, Other Types of Swaps, or Similar InstrumentsComments due: October 12, 2007

Order Granting Approval of a Proposed Rule Change Relating to NASD Rule 11870 (Customer Account Transfer Contracts) and NYSE Rule 412 (Customer Account Transfer Contracts) to Make the Time Frames in the Rules for Validating or Taking Exception to an Instruction to Transfer a Customer's Securities Account Consistent with the Time Frames in the Automated Customer Account Transfer Service

Notice of Filing of a Proposed Rule Change Relating to NASD Rule 11870 (Customer Account Transfer Contracts) and NYSE Rule 412 (Customer Account Transfer Contracts) to Make the Time Frames in the Rules for Validating or Taking Exception to an Instruction to Transfer a Customer’s Securities Account Consistent with the Time Frames in the Automated Customer Account Transfer ServiceComments due: October 4, 2007
Comments received
are available
for this notice.